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Upland Software, Inc. — Director's Dealing 2017
Nov 20, 2017
34321_dirs_2017-11-20_96e6ac83-d3b5-49e6-a270-f51f1dcde28b.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Upland Software, Inc. (UPLD)
CIK: 0001505155
Period of Report: 2017-11-16
Reporting Person: AV Partners IX LLC (10% Owner)
Reporting Person: Austin Ventures IX LP (10% Owner)
Reporting Person: AUSTIN VENTURES X LP (10% Owner)
Reporting Person: AV Partners IX LP (10% Owner)
Reporting Person: AV Partners X, L.L.C. (10% Owner)
Reporting Person: AV Partners X, L.P. (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-11-16 | Common Stock | J | 873034 | $0.00 | Disposed | 0 | Indirect |
| 2017-11-16 | Common Stock | J | 1309550 | $0.00 | Disposed | 0 | Indirect |
Footnotes
F1: Austin Ventures IX, L.P. ("AV IX") made a pro rata distribution to its partners of 873,034 shares of common stock of the issuer for no consideration on November 16, 2017.
F2: Shares held directly by AV IX. AV Partners IX, L.P. ("AVP IX LP"), the general partner of AV IX, and AV Partners IX, L.L.C. ("AVP IX LLC"), the general partner AVP IX LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV IX. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP IX LLC and may be deemed to share voting and dispositive power over the shares held by AV IX. Such persons and entities disclaim beneficial ownership of shares held by AV IX, except to the extent of any pecuniary interest therein.
F3: Austin Ventures X, L.P. ("AV X") made a pro rata distribution to its partners of 1,309,550 shares of common stock of the issuer for no consideration on November 16, 2017.
F4: Shares held directly by AV X. AV Partners X, L.P. ("AVP X LP"), the general partner of AV X, and AV Partners X, L.L.C. ("AVP X LLC"), the general partner AVP X LP, may each be deemed to have sole voting and dispositive powers over the shares held by AV X. Joseph C. Aragona, Kenneth P. DeAngelis, Christopher A. Pacitti, Philip S. Siegel, and John D. Thornton are members of or are associated with AVP X LLC and may be deemed to share voting and dispositive power over the shares held by AV X. Such persons and entities disclaim beneficial ownership of shares held by AV X, except to the extent of any pecuniary interest therein.